End Violence Against Women International (EVAWI) Effective Victim Advocacy Within the Criminal Justice System Kimberly A. Lonsway, PhD Sergeant Joanne Archambault (Ret.) With contributions from: Aurelia Sands-Belle Vickie Smith Alison Jones-Lockwood August 2008 Updated February 2019 This module is part of EVAWI’s OnLine Training Institute (OLTI), which is available at no cost, and includes review exercises, practical applications, and an end-of-course test. Participants can download a personalized certificate of completion to use for continuing education or other purposes. For more information, please see the EVAWI website. This project is supported by Grant No. 2015-TA-AX-K015 awarded by the Office on Violence Against Women, US Department of Justice. The opinions, findings, conclusions, and recommendations expressed in this publication/program are those of the authors and do not necessarily reflect the views of the Department of Justice, Office on Violence Against Women. Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 Table of Contents Authors ............................................................................................................................ 7 Acknowledgements ......................................................................................................... 8 Learning Objectives....................................................................................................... 10 Introduction ................................................................................................................... 11 What Is and Is Not Included in This Module ........................................................... 12 Definition of Advocacy ............................................................................................... 13 Individual vs. Systems Advocacy ........................................................................... 13 The General Role of Victim Advocates in the Criminal Justice System .................. 15 What Does the Research Say About the Impact of Victim Advocates?.................. 16 Two Types of Victim Advocates ................................................................................. 18 Services Provided by Both Types of Advocates ..................................................... 18 Community-Based Advocates ................................................................................... 19 Characteristics of Community-Based Advocacy..................................................... 20 Services Often Provided Only by Community-Based Advocates ........................... 21 The Role of Community-Based Advocates in Victim Decision-Making ................... 21 Relationship Between State Coalition and Law Enforcement Organization ........... 22 System-Based Advocates .......................................................................................... 23 Characteristics of System-Based Advocacy ........................................................... 24 Services Often Provided Only by System-Based Advocates ................................. 26 Collaboration Between Different Types of Advocates ................................................ 26 The Question of Vertical Advocacy ........................................................................ 28 Issues of Victim Privacy ............................................................................................. 29 Definition of Privacy ............................................................................................... 29 Victim Needs for Privacy ........................................................................................ 30 Privacy Rights of Victims in Each State ................................................................. 31 How to Explain Privacy Rights to Victims ............................................................... 32 Interagency Considerations ................................................................................... 33 Privacy Challenges in Small or Isolated Communities ........................................... 34 Confidentiality in Communications and Written Records ........................................... 34 Definitions of Confidentiality and Legal Privilege.................................................... 34 Varying Levels of Counseling Privilege for Community-Based Advocates ............. 35 Courts Moving Toward Broader Protections of Confidentiality ............................... 36 2 End Violence Against Women International www.evawintl.org Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 But a Subpoena is Still a Subpoena ....................................................................... 37 Exception to Confidentiality: Some Disclosures Trigger a Mandated Report ......... 37 Victims Can Always Waive Their Right to Confidential Communications ............... 38 Confidentiality Protections are Required for VAWA Grantees/Subgrantees .......... 39 Privilege Does Not Extend to Communications with a Third Party ......................... 39 Communications with a System-Based Advocate are Not Typically Privileged ...... 40 Confidentiality and Written Documentation by Community-Based Advocates ....... 40 Consequences of Violating Confidentiality ............................................................. 42 Policies and Procedures to Promote Confidentiality ............................................... 42 Victim Advocates Working Within the US Military ...................................................... 43 Policy on Restricted Reporting ............................................................................... 44 Advantages of Restricted Reporting for Victims ..................................................... 45 Disadvantages of Restricted Reporting .................................................................. 45 Victim Preference Statements ................................................................................ 46 Limits on Confidentiality in Communications .......................................................... 46 Exceptions to the Confidentiality of Restricted Reporting ....................................... 47 Protecting Victim Privacy Within the Military Environment ..................................... 48 Providing Assistance to Military Victims ................................................................. 49 Victim Advocacy at Various Stages of the ..................................................................... 49 Criminal Justice Process ............................................................................................... 49 The Initial Community Response: Medical Forensic Examination and Law Enforcement Investigation ......................................................................................... 49 Medical Forensic Examination ............................................................................... 50 Preliminary Investigation by Law Enforcement ...................................................... 50 What Exactly Do We Mean By “Preliminary Investigation?” ................................... 51 Determining the Appropriate Jurisdiction ............................................................... 52 Notification of Victim Advocates................................................................................. 53 Advocates Called Out as Routine Procedure ......................................................... 54 Advocates Notified Even if Incident Doesn’t Meet Crime Elements ....................... 55 Variations in How Victim Advocates are Notified: Who is Contacted First? ........... 56 Variations in How Victim Advocates Are Notified: Where the Interview Will Take Place ...................................................................................................................... 57 Responding to the Victim’s Identified Needs ............................................................. 58 Addressing the Victim’s Concerns Regarding Prosecution .................................... 59 3 End Violence Against Women International www.evawintl.org Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 Addressing the Victim’s Reluctance to Report ....................................................... 59 Advantages of Early Reporting............................................................................... 60 Other Advantages of Reporting .............................................................................. 60 Risks of Reporting .................................................................................................. 61 Tips for Advocates ................................................................................................. 61 Not a Question of “Now or Never” .......................................................................... 62 VAWA Forensic Compliance .................................................................................. 63 If the Victim Decides Not to Report or Participate in the Exam .............................. 64 Presence of Others During the Exam or Interview ..................................................... 66 Presence of Victim Advocates ............................................................................... 67 Law Enforcement Should Not Be Present During the Medical Forensic Exam ...... 68 The Presence of Other Support People ................................................................. 69 General Role of the Advocate or Other Support Person ........................................ 70 When Support People Should Be Excluded from the Exam or Interview ............... 71 Advocate Responsibilities During the Interview or Exam ........................................... 72 Verbal Support and Encouragement ...................................................................... 72 Monitoring the Victim’s Well-Being and Clarifying Questions ................................. 73 Addressing More Serious Concerns ....................................................................... 74 The Importance of Taking Breaks .......................................................................... 75 When the Victim’s Rights are Violated ................................................................... 75 Balancing the Needs of this Victim and the Next One ............................................ 76 Specific Responsibilities During the Medical Forensic Exam ..................................... 76 Explaining the Medical Forensic Examination to Victims ....................................... 77 Facilitating the Victim’s Own Decision-Making ....................................................... 79 Dual Purpose of the Medical Forensic Examination ............................................... 79 Address the Medical and Emotional Needs of the Victim ....................................... 80 Identify, Collect, and Document Forensic Evidence ............................................... 80 What Can and Cannot Be Concluded from the Exam ............................................ 81 Addressing the Possible Need for Emergency Contraception ................................ 82 Payment for the Medical Forensic Exam ................................................................... 83 Mandated Reporting by Medical Professionals ...................................................... 83 The Question of Evidence Storage ........................................................................ 87 Concluding the Medical Forensic Examination ...................................................... 88 4 End Violence Against Women International www.evawintl.org Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 Follow-Up Appointments ........................................................................................ 89 Advocate Responsibilities During the Investigation ................................................... 89 The Detailed Victim Interview ................................................................................. 91 Assist with the Decision Regarding Whether or Not to Postpone the Interview ..... 91 Assist in the Selection of an Appropriate Location for the Detailed Interview ......... 93 Personal Property of the Victim’s Taken as Evidence ............................................ 93 Arrest and Referral for Prosecution ........................................................................ 95 Assist Victims in Obtaining a Protective Order ....................................................... 96 Use of the Polygraph Prohibited............................................................................. 99 Responsibilities During Prosecution and Court Proceedings ................................... 100 Provide Input into Charging Decisions and Plea Negotiations ............................. 102 Requesting Special Victim Protections When Necessary .................................... 103 Discuss Any Special Conditions of the Offender's Bail, Parole, or Probation ....... 104 Address Issues of HIV Testing ............................................................................. 105 Responding to Defense Counsel.......................................................................... 105 Explaining Rape Shield Laws ............................................................................... 106 Facilitate Victim Input at Sentencing and Beyond ................................................ 107 Protecting Crime Victim Rights ................................................................................ 107 Notification of Crime Victim Rights ....................................................................... 109 Invoking Crime Victim Rights ............................................................................... 109 Enforcement of Violations .................................................................................... 110 National Center for Victims of Crime Document ................................................... 112 Crime Victim Compensation .................................................................................... 113 Basic Information on State Crime Victim Compensation Programs ..................... 113 National Association of Crime Victim Compensation Boards Document .............. 114 Implications for this Training Module .................................................................... 115 Restrictions on Eligibility ...................................................................................... 115 Under-Utilization of Crime Victim Compensation ................................................. 116 Financial Reimbursement for Crime-Related Losses............................................... 118 Restitution ............................................................................................................ 119 Civil Actions ......................................................................................................... 120 Civil Legal Issues ..................................................................................................... 121 Filing a Civil Lawsuit ............................................................................................. 122 5 End Violence Against Women International www.evawintl.org Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 Advocates as Expert Witnesses .............................................................................. 123 Advantages of Advocates Serving as an Expert Witness ..................................... 124 Disadvantages of Advocates Serving as an Expert Witness ................................ 124 Recommendations for Advocates Serving as an Expert Witness......................... 125 Addressing Reluctance to Integrate Advocacy Services .......................................... 125 Common Concerns of Other Community Professionals ....................................... 126 Concern That the Advocate Will Become a Witness ............................................ 127 Concern That Advocates Serve as “Watchdogs” ................................................. 127 Overcoming Reluctance and Addressing Conflict .................................................... 128 Recognize Differences in Personality and Philosophy ......................................... 128 Address the Issue of Past Conflict ....................................................................... 129 Address the Expectation of Future Conflict .......................................................... 130 Address the Concern that Advocates Will Talk Victims Out of Reporting ............. 130 Address the “Watchdog” Role of Advocates to Ensure it is Fulfilled Appropriately ............................................................................................................................. 131 Address the Concern that Advocates Withhold Important Information ................. 132 Address the Concern that Advocates Aren’t Really Part of the “Team” ................ 133 An Extended Example: When the Facts “Just Don’t Add Up” .............................. 134 Longer-Term Strategies for Resolving this Particular Conflict .............................. 137 Remind Community Professionals of the Benefits of Working with an Advocate . 140 Conclusion .................................................................................................................. 140 For More Information ................................................................................................... 141 Appendix ..................................................................................................................... 142 References .................................................................................................................. 144 Additional Acknowledgments ...................................................................................... 148 6 End Violence Against Women International www.evawintl.org Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 Authors Dr. Kimberly A. Lonsway has served as the Director of Research for EVAWI since 2004. Her research focuses on sexual violence and the criminal justice and community response system, and she has written over 60 published articles, book chapters, technical reports, government reports, and commissioned documents – in addition to numerous training modules, bulletins, and other resources. Over her career, she has trained thousands of professionals across the country and around the world, in a diverse array of disciplines and settings, and volunteered for over 15 years as a victim advocate; in 2012, she was awarded the first-ever Volunteer of the Decade Award from the Sexual Assault Recovery and Prevention (SARP) Center in San Luis Obispo, CA. She earned her PhD in the Department of Psychology at the University of Illinois, Urbana-Champaign. Sgt. Joanne Archambault (Retired, San Diego Police Department) is the Chief Executive Officer for EVAWI. Prior to founding EVAWI in 2003, Sgt. Archambault worked for the San Diego Police Department for almost 23 years, in a wide variety of assignments. During the last 10 years of her service, she supervised the Sex Crimes Unit, which had 13 detectives and was responsible for investigating approximately 1,000 felony sexual assaults each year. Sgt. Archambault has provided training for tens of thousands of practitioners, policymakers, and others – both across the country and around the world. She has been instrumental in creating systems-level change through individual contacts, as well as policy initiatives and recommendations for best practice. 7 End Violence Against Women International www.evawintl.org Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 Acknowledgements Some of this material was adapted from the module on the role of the victim advocate in: "Successfully Investigating Acquaintance Sexual Assault: A National Training Manual for Law Enforcement." Developed by the National Center for Women & Policing, with support provided by the Violence Against Women Office, Office of Justice Programs (Grant #97-WE-VX-K004). Content of this module was also developed partly on the basis of material from the following sources: • Police Response to Crimes of Sexual Assault: A Training Curriculum. Written by Sharon M. Hunter, Bonnie R. Bentley Crewe, and Jamie L. Mills. Produced by the Connecticut Sexual Assault Crisis Services, Inc. Funded by Police Officer Standards and Training Council and STOP Violence Against Women Grant #VAW9606. • Model Guidelines and Sex Crimes Investigation Manual for Illinois Law Enforcement. Produced by the Illinois Law Enforcement Training and Standards Board and Illinois Coalition Against Sexual Assault. • Developing a Coordinated Community Response to Sexual Assault and Domestic Violence. Produced by the Ending Violence Against Women Project of Colorado. Funded by the Bureau of Justice Assistance of the US Department of Justice (Grant #95-WF-NX-0008). • Looking Back, Moving Forward: A Guidebook for Communities Responding to Sexual Assault, produced by the National Victim Center (now the National Center for Victims of Crime). Supported by a grant from the Office for Victims of Crime and Bureau of Justice Assistance of the US Department of Justice. • Promising Practices: Improving the Criminal Justice System’s Response to Violence Against Women. Written by Mary B. Malefyt, Kristin M. Littel, and Alexandra H. Walker. Edited by Joan Kuriansky. Produced by the Technical Assistance Project of the STOP Violence Against Women Grant Program. Feedback was also incorporated in the module, from the following experts: • Jennifer Adams, Executive Director, Sexual Assault Recovery and Prevention Center, San Luis Obispo, CA. • Melissa A. Atwood, Supervisor, Victim Services Unit, Austin Police Department, Austin, TX. 8 End Violence Against Women International www.evawintl.org Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 • Aurelia Sands-Belle, Research Instructor, National Mass Violence and Victimization Resource Center (NMVVRC), Durham, NC. • Debra A. Bright, National Technical Assistance Project Director, VAWA Forensic Compliance Project, Maryland Coalition Against Sexual Assault, Arnold, MA. • Heather J. Huhtanen, Director of Programs for the Oregon Attorney General’s Sexual Assault Task Force, Eugene, OR. • Alison Jones-Lockwood, Training and Technical Assistance Specialist Start by Believing Community Liaison, Sacramento, CA. • Vickie Smith, Training Consultant, National Center on Domestic and Sexual Violence, Austin, TX (now Executive Director of the Illinois Coalition Against Domestic Violence, Springfield, IL). Several other individuals provided expert feedback on an earlier version of the module. They are listed in the appendix. 9 End Violence Against Women International www.evawintl.org Effective Victim Advocacy in the Criminal Justice System Februa ry Lonsway, Archambault 2019 Learning Objectives Objectives of this training module include the following: • Review a brief definition of victim advocacy and the general role of victim advocates. • Recognize similarities and differences in the professional role of victim advocates who work in a community-based organization, system-based organization, or the US military. • Explore the complex issues surrounding victim privacy, confidentiality, and legal privilege of private communications between victims and advocates, and any written records. • Identify opportunities for cooperation between advocates and criminal justice personnel, with the potential for increasing victim participation in the process of the law enforcement investigation and criminal prosecution. • Examine the role of victim advocates during the medical forensic examination, various stages of the law enforcement investigation, and the process of criminal prosecution. • Define the existing rights of crime victims on the state and federal level. • Clarify the financial compensation that is available for victims of crime and recognizing state and federal eligibility requirements that often limit the availability of this reimbursement for victims of sexual assault. • Identify other forms of assistance that advocates can provide for victims, including help in meeting civil legal needs and service as an expert witness in criminal or civil litigation. • Analyze common challenges faced by advocates working within the criminal justice system and exploring possible strategies for successful resolution. Please note: This module is a more in-depth version of the OnLine Training Institute (OLTI) Module entitled: Breaking Barriers: The Role of Community-Based and System- Based Advocates. This course is recommended for victim advocates, but other professionals are more than welcome to take this course as well. The material is essentially the same in both, so we suggest completing one or the other and not both. 10 End Violence Against Women International www.evawintl.org